Critical Capabilities For BPM-Platform-Based Case Management Frameworks

24/08/2015
CriticalCapabilitiesforBPMPlatformBasedCaseManagementFrameworks
CriticalCapabilitiesforBPMPlatformBased
CaseManagementFrameworks
12August2015ID:G00258617
Analyst(s):JanelleB.Hill,RobDunie,KennethChin
VIEWSUMMARY
Casemanagementframeworksbuiltonbusinessprocessmanagementplatformshelpsolutionarchitects
deploycasehandlingapplicationsandofferanalternativetospecializedcasemanagementapplications
andcustomcoding.Weevaluate12vendorsagainstninecriticalcapabilitiesinfourusecases.
EVIDENCE
1Inourview,themarketforBPMplatformbased
CMFsisanemergingopportunityunderthebroad,
umbrella"BPM"market,andwehavechosento
representthissegment.
Foryears,thecomplexarchitecturerequiredtosupportcasemanagementhasrelegatedittothe
statusofanicheapplication,typicallyaddressedbyspecialist,commercialofftheshelfapplication
providersandsystemintegrators.Casemanagementframeworksbasedonbusinessprocess
platformsprovideanalternativeapproach.
2Fromour"HypeCycleforBusinessProcess
Management,2015":"BPMplatformbasedcase
managementframeworksarecommercial(ideally
licensed)softwarethatleverageaBPMplatformto
provideoutoftheboxarchitecturalguidanceand
executablecomponents(suchascasefolders,content
indexing,rolebasedUIs,businessrulesand
milestones)tobeconfigured,integrated,interoperable
andextendedbybuyers.Theyreducethecomplexity
ofcreatingauniquesolutionbyprovidingenough
functionalitytoacceleratedevelopment,yetnottrying
tobeacompletepackagedapplication."
ComparedwithCOTSapplications,BPMplatformbasedCMFsareeasiertochangeandextendby
alteringvisualmetadataviamodels.
3On21May2015,KofaxwasacquiredbyPerceptive
Software,thesoftwaredivisionofLexmark.
Casemanagementasaprocessstyleisbeingappliedinmanysectorsbeyondgovernment,legaland
insurance,includinghealthcare,banking,highereducationandretail.Industryandcrossindustry
casemanagementframeworksarenowavailable.
4Inthesocialandhealthprogramdomain,casesare
oftenguidedbyevidencebasedpracticemodels.
Overview
KeyFindings
"Adaptivecasemanagement"hypeexceedstherealityofwhatbuyersneed.Manysolutionsenable
caseworkerstodynamicallyinitiateadhocactionsonacasedirectlyintheproductionenvironment.
http://www.gartner.com/technology/reprints.do?id=12L52PPM&ct=150813&st=sb
5Providersusemanyofthesametermssuchas
"adhoc"tomeanverydifferentthings.Our
researchfindsthattherearenouniversallyadopted
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However,determiningexactlywhocandowhatandwhendemandsthatthedetailsbeclosely
studied.
Recommendations
Solutionarchitects:
Considerpotentialrequirementsfor"adaptive"behaviorincasework.Identifyappropriateguardrails
tocontainchaoswhilealsoempoweringcaseworkerstoexploittheirjudgmentandexpertise.
ConsiderBPMplatformbasedCMFs,suchasthosereviewedinthisreport,whenCOTSsolutionsare
notsuitable(duetolackoffitnesstorequirements,cost,inappropriateplatformsorinflexibility).Use
thisreporttoestablishyourownweightedcriteriatoshortlistprovidersforconsideration.
WhatYouNeedtoKnow
Today,manytechnologybuyersarethinkingabouttheirworkascaseoriented,ratherthansimply
transactional,eveninindustriesoutsideofthoseinwhichworktraditionallyhasbeenhandledasacase
(suchasgovernment,legalandinsurance).Asbusinessbecomesmorecomplex,withgreaterdemands
foroperationaloversight,Gartnerhasseengrowinginterestincasemanagementasaprocessstyleto
addresscomplexsolutionrequirements.
Caseworkishighlyvariable.Typically,eachworkitemaka"case"isauniquesituationinvolving
complex(andoftendifficulttoplan)interactionsbetweencontent,people,business,evidenceand
regulatorypolicieswiththeaimofachievinganoptimaloutcome.Itisanunstructuredprocess.Often,
theworkflowcannotbeprescribed,andthebusinesslogicbehindpotentialactionsisdeterminedby
complexinterrelationshipsamongthecase,itscontent,relatedrolesandindividualresponsibilitieswithin
roles.Thus,designingasoftwareapplicationtoaddressthisunstructuredprocessstylecase
managementischallenging.Thiscomplexityhasrelegatedittoaspecializedsoftwareapplicationarea
foryears.
Casemanagementframeworksrepresentanewapproachtoaddressingtheserequirements.Theyare
configurable"apps"meanttohelpsolutionarchitectsacceleratethedeliveryofuniqueandflexiblecase
managementsolutions.Inthisreport,weevaluatecasemanagementframeworks(CMFs)thatexecute
onabusinessprocessmanagement(BPM)platformofsometype(see"SelecttheRightTypeofBPM
PlatformtoAchieveYourApplicationDevelopment,BusinessTransformationorDigitalBusinessGoals").
WechosethissubsetofCMFsbecausethesemodeldrivenplatformsholdthegreatestpotentialforeasier
developmentandmoreflexiblesolutions.
Furthermore,thisreportevaluatesCMFsolutionsfromBPMplatformbasedCMFproviders,basedonnine
criticalcapabilitiesthatanycasehandlingsolutionshouldreflect.Weevaluatetheproductsforfour
commonusecasesthatwehaveobservedacrossmultipleindustries:
definitionsyetspecifictotheconceptof"adaptive
casemanagement."Wefindtermssuchas"adhoc,"
"discretionary,""dynamic,""improvisational"and
"emergent."TheCaseManagementModeland
Notation1.0specificationdescribes"discretionary"
behaviorasfollows:
"Acasehastwodistinctphases,thedesigntime
phaseandtheruntimephase.Duringthedesign
timephase,businessanalystsengageinmodeling,
whichincludesdefiningTasksthatarealwayspart
ofpredefinedsegmentsintheCasemodel,and
"discretionary"Tasksthatareavailabletothe
Caseworker,tobeappliedinaddition,tohis/her
discretion.Intheruntimephase,Caseworkers
executetheplan,particularlybyperformingTasks
asplanned,whiletheplanmaycontinuously
evolve,duetothesameorotherCaseworkers
beingengagedinplanning,i.e.,adding
discretionaryTaskstotheplanoftheCase
instanceinruntime."
Inessence,discretionarytasksareplannedoptions,
dynamicallyinvokedonacasebycasebasis.
6See"SystemsofDifferentiationandInnovation
RequireDifferentTypesofModelDrivenApplication
Platforms"and"ThreeTypesofModelDriven
Composition:What'sLostinTranslation?"
7"Coinnovation"meansthatboththebuyers
(consumers)oftheBPMplatformbasedCMFandthe
providercaninnovatetheframeworksimultaneously
andindependentlyinsuchawaythatneitherstepson
theother'schangesinupgrades.Theupgrade
proceduresrespecttheseparateinnovationsand
protectbuyercustomizationsinsuchawayasto
minimizemanualreconciliationofthechanges.
8Anunstructuredprocessisoneinwhichthe
activities,resourceinteractions(man,machineand
information)anddecisionsarenoteasilyprescribedas
arepeatableworkflow.Rather,theyaretailoredtothe
individualunitofwork.Successfulworkhandling
requiresinterpretation,collaboration,judgmentand
expertise.
9InGartner'sview,adaptivecasemanagementisa
subsetofcasemanagementasaprocessstyle,in
whichcasehandlingneedstobeextremelyflexible.
Insteadofmodelingthecaseflow,manyadaptive
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Investigativecases
Incidentmanagementcases
Servicerequestcases
Processtodecisioncases
Inthisanalysis,wespecificallyevaluatedthearchitecturalelementsoftheCMF,thebreadthanddepthof
businessdomainfunctionalityincluded,andtheinterrelationshipbetweentheframeworkandits
dependentexecutionenvironment.BPMplatformbasedCMFsaredeliveredbyusinglayeredconceptual
models,withthefollowingrequiredandoptionallayersforprovidersreflectedinthisreport.Layersstart
atthebottomattheplatform(LayerA)andextenduptothehighestvalueofbusinessfunctionality
provided(LayerE):
LayerA(BPMplatformlayer)AbasicBPMplatform,businessprocessmanagementsuite(BPMS)
orintelligentBPMS(iBPMS)
LayerB(abasicCMF)Ageneralpurpose,architecturalpatternforcaseworkhandling
LayerC(businessdomainlogic)Horizontal,crossindustry,businessdomainlogic
LayerD(businessdomainlogic)Verticalindustrybusinessdomainlogic
LayerE(implementationspecificlogic)Complete,executingsolution
Thisreportshouldbereadasacompanionpieceto"MagicQuadrantforBPMPlatformBasedCase
ManagementFrameworks,"whichanalyzestheoverallmarket.Here,weprovidedeeperevaluationsof
theCMFsolutionsofferedbyvendorsparticipatinginthatmarket.Thevendorsincludedwithinthetwo
reportsoverlap(seetheVendorsAddedorDroppedsectioninthisreport).
ManyBPMvendorshaverecentlyexpandedtheirfocustoaddcasecentricfeaturesintotheirplatform
andcasesolutionstocapitalizeonthismarketopportunity,incompetitionwithindustryspecificcase
managementapplicationspecialists,enterprisecontentmanagement(ECM)suitevendors,CRM
applicationvendorsandconsultingandsystemintegrations(C&SIs),whichofferprebuiltorcustom
developedsolutions.Someprovidersmarket"adaptivecasemanagement"asaconceptthatrequiresa
uniqueproduct,todistancethemselvesfromtraditionalBPMSproviders,andtoemphasizethe
importanceofthecaseastheprimaryobjecttobemanagedtoapositiveoutcome,ratherthanthe
workflow(thesequencingofprescribedactivities).BPMplatformbasedvendorsofferingCMFsdifferfrom
traditionalCOTSspecialtyapplicationsinthattheyareeasiertoextendviavisualmodels(suchasflow
models,integrationmodels,rulemodelsanddatamodels)notjustatdesigntime,butalsopotentially
atexecutiontime(inproduction).1
BPMplatformbasedCMFsprovideahybrid,alternativeapproachtoCOTSapplicationsandhomegrown,
custombuiltdevelopmenttomeetcasemanagementsolutionneeds(see"HypeCycleforBusiness
ProcessManagement,2015").Theseframeworksarepartialsolutions,meanttoacceleratethetimeto
casemanagementsolutionsfocusonmodelinginterim
goalsormilestonesascriticaldeterminantsofcase
progressiontowardthedesiredoutcome.Providers
emphasizemodelingthedataandrelationshipsacross
theresourcesparticipatinginthecaseratherthan
modelingtheworkflow.
10Anexampleofpersontomachinecollaborationis
incorporatingavirtualpersonalassistantintoaprocess
orasmartmachinethatassiststhepersonindriving
orparkingacar.Roboticvacuumsandmanufacturing
robotscancollaboratewithhumanstogetajobdone.
11Therearemanytypesoffrauddetectionand
preventiondomains.Formoreonthistopic,seeother
Gartnerresearchspecifictoindustriesordomainsby
searchingon"frauddetection."
12TheNationalIncidentManagementSystem(NIMS)
isastandardizedapproachtoincidentmanagement
developedbytheU.S.DepartmentofHomeland
Security.Thesestandardsprescribe"bestpractices"for
dealingwithanticipatedtypesofincidents.
13Scoringforthecriticalcapabilitieswasderived
fromrecentindependentGartnerresearchontheBPM
platformbasedCMFmarket.Eachvendorrespondedin
detailtoanextensiveprimaryresearchquestionnaire
coveringitsbusinessandthetechnicalfeaturesofits
BPMplatformbasedCMFoffering.Gartneranalysts
reviewedandvalidatedthisinformationviarequested
liveproductdemonstrationsanddiscussion,
correspondedwiththevendorsthroughtheevaluation
period,andconductedresearchcheckswithcustomers
oftheseproducts.Gartnerhasalsoconductedmore
than550clientinquirieswithprospectiveandcurrent
enduserandconsultantclientsinterestedincase
managementsolutionsduring2014and2015.
CRITICALCAPABILITIESMETHODOLOGY
Thismethodologyrequiresanalyststoidentifythe
criticalcapabilitiesforaclassofproductsorservices.
Eachcapabilityisthenweightedintermsofitsrelative
importanceforspecificproductorserviceusecases.
Next,products/servicesareratedintermsofhowwell
theyachieveeachofthecriticalcapabilities.Ascore
thatsummarizeshowwelltheymeetthecritical
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solutionandalsobeextendedandtailoredforuniquerequirementsbythebuyer.2WhenavailableCOTS
solutionsarenotsuitable(duetolackoffitnesstorequirements,cost,inappropriateplatformsor
inflexibility),considerBPMplatformbasedCMFs,suchasthosereviewedinthisreport.
Thisanalysisprovidesadetailedevaluationofcasemanagementsolutionsfrom12BPMplatformbased
CMFprovidersagainstninecriticalcapabilities,andacrossfourcommonusecases.Thisanalysiscanhelp
solutionarchitectsnarrowtheirshortlistsofprovidersforcasemanagementsolutions.Theycanalso
leveragethisresearchtocreatetheirownweightedcriteriaforevaluatingBPMplatformbasedCMF
providers.
Analysis
CriticalCapabilitiesUseCaseGraphics
Figure1.Vendors'ProductScoresfortheInvestigativeCasesUseCase
capabilitiesforeachusecaseisthencalculatedfor
eachproduct/service.
"Criticalcapabilities"areattributesthatdifferentiate
products/servicesinaclassintermsoftheirquality
andperformance.Gartnerrecommendsthatusers
considerthesetofcriticalcapabilitiesassomeofthe
mostimportantcriteriaforacquisitiondecisions.
Indefiningtheproduct/servicecategoryforevaluation,
theanalystfirstidentifiestheleadingusesforthe
products/servicesinthismarket.Whatneedsareend
userslookingtofulfill,whenconsidering
products/servicesinthismarket?Usecasesshould
matchcommonclientdeploymentscenarios.These
distinctclientscenariosdefinetheUseCases.
Theanalystthenidentifiesthecriticalcapabilities.
Thesecapabilitiesaregeneralizedgroupsoffeatures
commonlyrequiredbythisclassofproducts/services.
Eachcapabilityisassignedalevelofimportancein
fulfillingthatparticularneedsomesetsoffeatures
aremoreimportantthanothers,dependingontheuse
casebeingevaluated.
Eachvendorsproductorserviceisevaluatedinterms
ofhowwellitdeliverseachcapability,onafivepoint
scale.Theseratingsaredisplayedsidebysideforall
vendors,allowingeasycomparisonsbetweenthe
differentsetsoffeatures.
Ratingsandsummaryscoresrangefrom1.0to5.0:
1=PoororAbsent:mostoralldefinedrequirements
foracapabilityarenotachieved
2=Fair:somerequirementsarenotachieved
3=Good:meetsrequirements
4=Excellent:meetsorexceedssomerequirements
5=Outstanding:significantlyexceedsrequirements
Todetermineanoverallscoreforeachproductinthe
usecases,theproductratingsaremultipliedbythe
weightingstocomeupwiththeproductscoreinuse
cases.
ThecriticalcapabilitiesGartnerhasselecteddonot
representallcapabilitiesforanyproducttherefore,
maynotrepresentthosemostimportantforaspecific
usesituationorbusinessobjective.Clientsshoulduse
acriticalcapabilitiesanalysisasoneofseveralsources
ofinputaboutaproductbeforemakinga
product/servicedecision.
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Source:Gartner(August2015)
Figure2.Vendors'ProductScoresfortheIncidentManagementUseCase
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Figure3.Vendors'ProductScoresfortheServiceRequestUseCase
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Figure4.Vendors'ProductScoresfortheProcesstoDecisionUseCase
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Vendors
AINS
OfferingEvaluated:AINSeCaseplatform,Version9.0,2014
TheAINSeCaseplatformisaMicrosoft.NET,Webbasedworkflowdrivencasemanagementsystem.The
platform'scorefeaturesincludingforms,intelligentcapture,contentmanagement,collaboration,
reporting,workflow,integrationandsecurityenableittoaddressallfourcasemanagementpatterns
well.AINSalsooffersanumberofsolutionframeworksbuiltatopitsBPMplatform.Itssolutionsare
primarilyatLayerDofourconceptualarchitecture.TheyincludeeCaseAudit,eCaseInvestigations,eCase
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LeadsandOpportunitiesManagement,eCaseHR(onboarding,compensation,performancemanagement,
disputeresolution,employeerelations,laborrelationsandlearningmanagement),FOIAXpressfor
FreedomofInformation(FOI)ActandPrivacyActrequests,andATIPXpress(forFOIrequestsinCanada).
eCaseisprimarilyusedwithintheU.S.andCanadianfederalgovernments.ItisavailableasaFederalRisk
andAuthorizationManagementProgram(FedRAMP)certifiedSaaSandplatformasaservice(PaaS)
solutionaswellasonpremisesimplementations.
eCasecanmanageawidevarietyofprocessstylesusingitsproprietaryeFlownotation.eFlowallowsthe
processdesignertomodelthemorestructuredworkflowsseeninservicerequestswhilealsoenablingthe
flexibleexecutionofadhoctaskassignmentsandprocesssnippetsininvestigativecases.WhiletheeFlow
syntaxmaybesomewhatunfamiliartothosewhohavebeenexposedtostandardnotationslikeBusiness
ProcessModelandNotation(BPMN)orCaseManagementModelandNotation(CMMN),itsrelatively
simplesyntaxiseasilyunderstoodbycitizendevelopers.ThissimplicitycanbeenhancedbytheeCase
ruleenginetoautomatehighlydataandruledrivenprocesses.
eCaseenablescontenttobemanagedbothnativelyandthroughexternalcontentmanagementsystems.
Italsoprovidestheabilitytointeractwiththecontent.Theplatformcanintelligentlycapture
unstructureddataandindexthetextofimagestomakeitsearchable.Usingtheintegratedredaction
capability,caseworkerscanremovesensitiveinformationfromelectronicdocuments.Itsmobile
capabilitiesalsoallowthecaseworkertocapturephotosandvideosdirectlyfromthedevice.
eCaseallowscaseworkerstocollaboratearoundcaseworkingusingsocialmediastylechattingaswellas
emailfornotifications.Allinteractionsrelatedtothecasearecapturedinthecasefolder.eCasealsooffers
outoftheboxsupportforYammer,whichenablescaseworkerstocollaboratewithpartnersandexternal
users.
TheplatformhasanumberofconnectorsforwidelyusedERPandCRMapplications(suchasSalesforce
CRMforcontactsandPeopleSoftHRMS,aconnectorfortheHRsolutionframework).
AINS'eCaseisaverycapablecasemanagementplatform.Whilethecurrentsolutionframeworksare
primarilyfocusedontheU.S.andCanadianfederalgovernment,theplatformcanbeusedtoaddressa
widevarietyofcasemanagementneeds.
Appian
OfferingEvaluated:AppianBPMSuitewithCaseManagementFrameworkv.7.9
AppianBPMSuite'scorestrengthsasaniBPMSallowittoaddresssomemorecomplexcasemanagement
scenarios,althoughithasonlyalimitedamountofhorizontalandverticalsolutioncontentofitsown.
Manyofitscasemanagementcapabilitiesareafundamentalpartoftheplatform,andareexposedinits
horizontal(crossindustry)CMFtoprovidedesignguidancetoimplementers.TheCMFisavailableasan
AppianframeworkapplicationaspartoftheiBPMSplatform.BuyersoftheiBPMSplatformaregiven
accesstotheCMF(LayerB).AccesstodomainspecificCMFs(LayersC,DandE)islicensedseparately.
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WerevieweditsAppianCaseManagementFrameworkanditsthreeCMFs:AcquisitionBusiness
Management,OnboardingandSecurityProcessing,andSiteandFacilityInspections.
Appian'sCMF(LayerB)isanapplicationpackagethatcontainsdesigntemplatesforcasehandlingrules,
userinterfaces,recordsandworkflows,andalsoincludesuserstoriesandotherdocumentation.These
assetsaresamples,recommendedtoacceleratedevelopmentthrougheasyreuse.Althoughconceptually
similartocodelibraries,theseobjectsareexplicitmodelsmetadatathatcanbeeasilyadaptedusing
thevisualauthoringtoolsandexecutedimmediately.
OneofAppian'sbestcapabilitiesisitsabilitytosupportcaseorchestrationthatrangesfromhighly
structuredtohighlyunstructuredflows.AppianleveragestheBPMN2.0specificationforauthoring.
BPMN'sadhocactivityisusedtoenabledynamicandsomenonprescribedbehaviorintheruntime
environment.Socialtasksaddressadhochumanactions.Appian'sCMFalsoallowstheprocessarchitect
toconfigureacase'slifecycleatbothdesignandruntimebydefiningmilestonesandtasksthat
contributetothecompletionofthosemilestones.Theknowledgeworkerisabletoadjustthetasksas
requiredbythatuniquecaseinstance.
AppianRecordsallowsacaseworkertoquicklyobtainacompleteviewofalldatarelatedtoaparticular
case.Federateddataisretrievedinrealtimefromtheappropriatesystemofrecord,allowingthe
knowledgeworkertomakebetterdecisionsregardingwhatactiontoperformnext.
AnotherdistinguishingareaforAppianisitsunderstandingoftheuserexperience,notjusttheuser
interface.ItsTempolayerprovidesasocialexperiencethatenablescaseworkerstonavigateacrossand
monitorawidevarietyofdataobjects,includingeventstreams.Mobilityisseamlesslyintegrated,
supportingoutoftheofficeandfieldexperiences.CaseworkerscantailorTempototheirpersonal
interestsandpreferencesasoftenastheywant,throughvisualconfiguration,directlyintheproduction
environment.Thisisparticularlyvaluableforinvestigativecasesinwhichkeyinformationisnotyet
knownandinwhichahighlyadaptiveexperienceisdesirable.Appian'scapabilitiestosupporthuman
collaborationanddatadrivenactionscontributetoitshigherscoresforinvestigativeandincident
managementcasesthanothersinthisevaluation.
ForbuyerswhodonothaveanECMrepository,Appianoffersitsownlightweightcontentrepository.
Appianlargelyusespartnershipsandrepackagedtechnologytoprovideinteractionswithinlessstructured
content(suchas"view,""redact,""comment"or"search"),aswellasintelligentdatacaptureandoutput
management.Thesecapabilitiesareweakerthanthoseofferedbyothervendorsincludedinthisreport.
Forexample,AnyDocfromHylandSoftwareisintegratedforscanandmetadatacapture.Optical
characterrecognition(OCR)capabilityandautomatedcorrespondencearealsonotnativetoAppian.
Overall,Appianprovidesaneasytolearnandeasytouseenvironmentforsolutionarchitectsand
developers,aswellasbusinessanalystsandbusinessprofessionalscollaboratingthroughouttheentire
processmanagementlifecycle.
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AWPL
OfferingEvaluated:DotsphereCaseManagerPro,v.7.4andPencilv.2.0multipleindustry
frameworks
AWPL'sapproachtothismarketsegmentdiffersfromtheotherproductsweevaluateinthisresearch:It
offerssolutionframeworksontopofaBPMplatformthatothersprovide.DotsphereCaseManagerhasa
uniquemultilayeredserverarchitecturethatenablesthefederationofheterogeneousenterprisecontent
management(ECM)suitesandBPMsuites.AWPLhasworkedwithIBM'sFileNetECMandallofIBM'sBPM
products,andotherBPMSproducts.ItsdefaultBPMSisnowRedHat's,includingitsDroolsruleengine,
whichstrengtheneditsabilitytohandleservicerequestsandprocesstodecisionusecases.Itsdefault
ECMenvironmentisitsownproductnamedCasepedia.FederationacrossheterogeneousBPMengines
extendsdowntotheactivitylevel,thusprovidinggoodinteroperability.ItalsousesaJava/XMLplugin
architecturetoextenditscasetrackerwithdomainspecificbusinesslogic.AWPLitselfoffersmultiple
CMFs,brandedasPencils,whichplugintothisbackbone.WerevieweditsPencilsforinsuranceand
banking(LayerD).
ThefederatedapproachmeansthatDotsphereCaseManagercantalktomultipleenginesandinasingle
userinterface,presentthecaseworkerwiththeinformationavailableacrossdifferentengines.Thishelps
organizationstostillmaintainmultipleECMandBPMenginesandneednotspendadditionaldollarsin
migrationfromoneenginetoanother.DotsphereCaseManagerinheritsmuchofthecapabilitiesofthe
underlyingBPMandECMengines.Forexample,reportsfromDotspherearesimpleandquicktoextract,
andreportsintheunderlyingBPMSarealsoavailable.Caseworkflowdesignisprimarilydoneinthe
designerassociatedwiththeunderlyingBPMS.Attheinitialsetup,ITprofessionalsdeterminewhat
aspectsofthesolutionwillbeconfigurablebybusinessroles,includingintegratedsystemsanddatabases,
dashboardsandUIs,humantasksandaccesstoassociatedcontent.Dotsphere'sowndesignerismoreof
aconfigurationlayer,appropriateforbusinesssubjectmatterexpertsandcaseworkers.Customersand
partnerscreatetheirownsolutionsortheirownextensionstoPencilbyexploitingtheplugin
architecture.Thislayeredarchitecturereflectsacleanseparationofconcerns,enablingagoodlevelof
flexibilitycontrolledbybusinessroles.ItalsobuildsonthegrowingbaseofBPMNandJava/XMLskills
availableinthemarket.Widgetspresentdifferent,contextualizedviewsofcases.AWPL'sinterwidget
communicationenableschangesmadeinonewidgettobeimmediatelyreflectedinassociatedwidgets.
Onelayerofthearchitectureprovidesaneventsframeworkthatunifiestheeventstreamscomingfrom
theunderlyingenvironments.Throughadesignuserinterface,customersdefinetheeventstheywantto
captureandwhatshouldbedonewiththeseevents.AmiddletierinthearchitectureDotsphereServer
ExtensionsatLayerCenablescustomerstoextendthefunctionalityoftheECMorBPMenvironments.
Thisuniquearchitectureenablescustomerstodefineacasebyitsrelationships.Thebusinessuserlayer
thetopmosttieristhecaseinterfacethatunifiestheunderlyingECMandBPMengines,aswellas
lineofbusinessapplications(suchascorebankingorinsuranceapplications).Alltheunificationdoneat
thisleveliscontextualtothecase.Thiscapabilityofbringingincontextualdataandscreensisan
inherentstrengthofDotsphereCaseManager,enablingittopeacefullycoexistwithandcaseenable
existingapplications.
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Historically,AWPLhassoldproductsintheimagingandworkflowtechnologymarkets.Ithasbeen
providingDotshpereCaseManagersolutionssince2001intheAsianmarkets.Consequently,italsooffers
additionalmodulesforcaseanddocumentcapture,tracking,monitoringandreporting.Today,itprimarily
goestomarketwithcasecentricindustrysolutionacceleratorsnamedPencilandisactivelyrecruiting
partnerstobuildadditionalsolutionsforPencil.Todate,ithasjustafewpartnersspreadacrossAsiaand
Africa.
AWPLisacompanyinIndiawithofficesinAsiaandsubSaharanAfrica.Dotsphere'sgrowingcustomer
baseisprimarilylocatedintheAsia/PacificregionandisnowexpandingintotheAfricaregion.AWPLis
buildingitsabilitytoenableworkercollaborationandtointegratecontentbeyondlegacysystemsand
documents.Supportformobilityandintegrationisweakerthanmostvendorsinthisevaluation.
IntegrationofbothcustomapplicationsandCOTSapplicationsthatarebuiltonatraditionalthickclient
willlikelyneedsignificantprogrammingeffort,whileintegratingthinclient(browserbased)applicationsis
easiertoconfigure.
Organizationsthatarelookingforaquicktimetovaluecasemanagementplatformshouldconsider
Dotsphere.Itisrelativelyinexpensivecomparedtotheotherproductsinthisevaluation,andthe
companyiseagertoexpandintotheU.S.andCanadaaswellasEurope.
Eccentex
OfferingEvaluated:AppBase5.2WithDCMFramework3.0andMyCaseRecordsFramework
EccentexcombinesabasicBPMplatformandabasicCMF(LayerB)calledDynamicCaseManagement
(DCM)Framework3.0,whichitoffersasahostedmanagedservice.ItalsooffersanAppLibraryofready
touseapplicationsforspecificverticalsthatithasdevelopedonitsownandwithpartners,addressing
needsatLayersCandD.Itscustomersareprimarilymidmarketorganizationsinthefinance,utility,
publicsectorandhealthcareindustries.EccentexanditspartnersoffersolutionsbasedontheDCM
framework(aswellasadditionalsolutionsbuiltontheplatform).
Asaplatform,Eccentexispurposebuiltforcasehandling.Itusesaneventdrivenarchitectureandrules
toadvancecasestocompletion.(ItisnotbasedonBPMN,althoughthelatestversionincludesworkflow
visualizationinaBPMNlikenotation.)Theplatformislargelya.NET3.5corewithsomeJavaandan
OracleRDBMSandPL/SQLcapabilities.DCMisageneralpurposeCMFthatprovidesahierarchyofcase
relatedobjects,includingcases,tasks,reports,peopleanddictionariesfordeveloperstoleverage.
EccentexitselfleveragesDCMtocreateapplicationsolutions,suchasMyCaseRecords(LayerC).Thus,itis
highlyextensible.DCMcustomizationhappensonthreelevels:
Developerscanextend,integrateandconfigurethecorecaseobjectsusingtheintegrateddesign
studio.
Businessanalystscanfurtherconfigureaspectsthatdevelopershavesetup.
Caseworkerscanaddadhoctasks,whicharehumantasksonly.
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Thisisthebasisforchangegovernanceandlikelymeetsmostbuyerrequirements.
Itsdictionaryfeatureisuniqueanduseful.Dictionariesaresourcesofinformationthat,likealaw
dictionary,supportcaseworkersbyprovidingcriticalreferenceinformation.Gartneralsolikesthe
organizationchart,whichcanbesynchronizedwithActiveDirectoryandusedforrulesdependentonthe
organizationalstructure,includingescalationrules,decisionrulesanddynamictaskassignments.In
addition,sincethisenvironmentiscloudbasedandbuiltforcasehandling,administratorscancontrol
accesstodataandfunctionalityataveryfinegrainedlevel,whichimprovessecurity.Also,itsarchitecture
separatescontentflowfromtaskflow,enhancingperformanceforcontentheavycasework(suchastax
fraudcasesormortgageorigination).Overall,ithasgoodcontentinteractioncapabilities.
DespitethelistofsolutionsavailableonAppLibrary,fewareactuallybuiltbyEccentex.Solutionsarefrom
partnerswhohavenotbeencertifiedinanyway.Thebreadthanddepthofbusinessdomainlogicvaries
considerablyacrossAppLibrarysolutions.Nevertheless,AppLibraryoffersmanyproductizedhorizontaland
verticalapplicationsforspecificmarkets,whichhavethenbeenbundledintoanintegratedsuiteof
applicationsthatareintegratedbetweeneachother,andhaveaunifiedinbox,calendar,masterdata
managementandcollaboration.In2014,Eccentexshifteditsbusinessmodelawayfromtargeting
solutionpartnersandtowardmoredirectsalesanddeliverytoenduserorganizationsinordertobecome
anapplicationsolutionprovider.Thus,afterinitialdeployment,buyerswillmostlikelybeartheburdenof
reconcilingtheircustomizationswithnewcapability(ifany)fromtheprovider.Inaddition,most
customershavenotyet"pushedtheenvelope"inexploitingthecapabilitiesoftheplatform.
Theenvironmentreflectsagoodgovernancemodel(withthethreelayersofextensibilityandfinegrained
controloveraccesstocomponents)whichshouldmakeiteasiertoreconcilevendorprovidedchanges
withsubscriberownedchanges.However,theupgradeprocessisnotyetfullyautomatedorintelligent.
Still,becauseEccentexisacloudserviceprovider,itshouldperformupgradesitselfasaservice.Buyers
whodecidetodeploythesolutiononpremisesorinaprivatecloudshouldexpecttotakeasemimanual
approachtoreconcilingtheirownchangeswiththosefromtheprovider.
EMC
OfferingEvaluated:EMCDocumentumxCeleratedCompositionPlatform(xCP)2.0
EMCDocumentum'sxCeleratedCompositionPlatformisaBPMSthatfeaturesabalanceofcontentand
processmanagementfunctionality,andsupportscasemanagementsolutionsanddevelopment.
DocumentumxCPisafullyintegratedcomponentoftheDocumentumPlatform7,whichincludescore
contentmanagementwitharepositoryandothercomponents,suchasintelligentcapture(Captiva)and
customercommunicationsmanagement(DocumentSciences).DocumentumxCP2.0isaspecialized
BPMSthatusesaconfigurationapproachtocasemanagementsolutions,ratherthancoding,toprovide
quickerdeliverytime.EMChasanumberofindustrycasemanagementsolutionsatLayerC,alongwith
morethan100certifiedpartnerdevelopedsolutionsatLayersCandD.DocumentumxCPcanalsobe
deployedasamanagedservice,privatecloudoptionusingEMCOnDemand.Foronpremisesprivatecloud
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deployments,anautomatedprovisioningandpolicybaseddeploymentoptioncalledxCelerated
ManagementSystem(xMS)isavailabletodeployDocumentumxCPsoftwareandapplicationsintothe
VMwareprivatecloudinfrastructure.
OneofDocumentumxCP'sstrongestcapabilitiesforcasemanagementisitsabilitytosupportabroad
rangeofcontenttypesandcontentinteractions,rangingfromunstructuredcontenttostructureddata.It
providesformanagementandstorageofthecontentaspartoftheDocumentumplatform.Inaddition,
DocumentumxCPprovidesaserviceorientedarchitecture(SOA),handlinginboundandoutbound
messagingandeventswithstandardsbasedintegrationadaptersandconnectors.ItalsosupportsCase
ManagementInteroperabilityServices(CMIS)foraccessingothercontentrepositories.DocumentumxCP
offersonlybasiccollaborationservicestofacilitateindividualandgroupinteractionsamongcase
participants.
TheDocumentumplatformwithEMCCaptivaandEMCDocumentSciencesprovidesgooddatacapture
andoutputmanagementcapabilities.EMCCaptivaprovidesintelligentclassificationanddataextraction
forhighvolumecaptureandcasebasedcaptureapplicationsforDocumentumxCPprocesses.EMC
DocumentSciencesautomatesthecreationofpersonalizedcustomercommunicationsand
correspondencewithmultichanneldeliveryaspartofthecasebasedworkflowprocessesinDocumentum
xCP.
TheadaptabilityofDocumentxCPisonparwithothercasemanagementproductsinthisevaluation.
DocumentumxCPimplementscasemanagementpatternstoenableruntimeconfigurationinflightby
processworkersbasedontheirrole,anduserscanoverridetemplatedprocesseswithparametersand
initiateadhocworkflows.Inaddition,xCPincludesadynamicdatamodelingmechanismtype
fragmentsthatenablesthecasemodeltobeenhancedafterdesigntimewithouthavingtoredefineit.
Typefragmentsincludenewinformationmodelandeventbehavior,andcanbeconsumedatruntime.
Businessusershavetheopportunitytoenrichthecasebyattachingdifferentfragments,whichcould
includetasksandadditionalbusinesschanges,tothecase.Solutiondesignershavetoincorporatetype
fragmentsintotheinitialdesigntobeexposedthroughconfigurationatruntimeinorderforworkersto
leveragethemandadapttounanticipatedcaseworkchanges.
DocumentumxCPofferssomebusinessrolefriendlydashboards,metricsandreportingfunctionality,but
doesnotaddressondemandanalyticsandwouldrequireathirdpartyproduct.
Overall,DocumentumxCPprovidesarobustcasemanagementplatformwithanumberofframeworks
anddevelopedsolutions.Withastrongpartnerecosystemtodevelopcertifiedcasemanagement
solutionsforvariousindustriesandbusinessdomains,andtightintegrationwithDocumentumfor
contentmanagementfunctionality,DocumentumxCPcandeliveroutoftheboxcasemanagementand
ROI.
Hyland
OfferingEvaluated:HylandOnBasev.14andDynamicChecklistsforProcessControl
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Hylandoffersasingle,integratedcontentandprocessmanagementplatform(OnBase)thatleverages
Microsoft's.NETcomponentmodel.Itsproductincorporatescomponentizedcapabilitiesthatare
inherentlydesignedtoworktogetherandleverageacommoncodebaseandrepository.Gartnerconsiders
OnBaseabasicBPMplatformforitsvisualdesignerandbuiltinrules.Hylandofferstwootherprocess
frameworksthatarenotcasecentric:AcceleratedFinancialReportingManagement(AFRM)andElectronic
PlanReview(EPR).
OnBasev.14offersseamlessintegrationwithvariousMicrosofttechnologiesincludingthe.NETOffice
suiteforeditingcontentinWordandPDFfromtheHylandclientusingWebpartstoexposespecific
OnBasefunctionalityinaSharePointportaluserexperience(UX),andexposingWorkViewbasedcase
managementapplicationsviaaMicrosoftOfficeOutlookclient.
DynamicChecklistsforProcessControlisaverysimpleframeworkatLayerBthatisappropriatefor
creatingahumantaskqueuewherethereisnoprescribedsequencetothetasks.Anordercanbe
suggested,buttheworkerisnotrequiredtofollowthesuggestedsequence.Thechecklistowner(aka
designer)definesthelistofpossibleactionsintheDynamicChecklisttemplate.Theruntimeengine
assignstasksasrequested,basedoneventsortoasharedqueue.Thesimplicityofthisframeworkmakes
itworkableforabroadvarietyofdataandcontentdrivenapplications.Thisplatformandtemplate
combinationisverymatureandisusedextensivelybymanymidsizecustomersanddepartmentswithin
largerenterprises.
Hylandhasthree"solutions"thatarelicensedCMFs.Many"solutions"listedonitswebsitereflectreal
worlddeploymentsbasedonsamplecode("accelerators")anddeliveredwithprofessionalservices.
CustomerswhoextendthesesolutionsbeyondOnBasewillretainresponsibilityformaintainingtheirown
customizedapplication.Architecturally,thisframeworkisreallyacodedrivensolution,albeitusingvisual
modelstohidetheprogrammingdetails.Adhocbehaviorislimitedtohumanactions.
Collaborationcapabilitiesbothindesignandruntimeandintegrationwithassetsbeyondcontentare
weak.HylandresellsBizTalkfromMicrosofttostrengthenitsintegrationcapabilities.
IBM
OfferingEvaluated:IBMCaseManager(ICM)v.5.2
ICMisacrossindustryCMFatLayerB.ThisframeworkrunsontopofIBMCaseFoundation(theoriginal
FileNetBPMP8BPMandECMplatform)andincludesaFileNetContentManagerentitlement.IBMandits
partnersoffermanyindustryspecificanddomainspecificsolutionsthatleveragetheICMframeworkat
LayerCandabove.ICMisoneofthestrongerproductsinthisevaluation,withbetterthanaverage
capabilitiesinallcriticalareas.However,withthatstrengthcomescomplexity.
ThecomplexityofimplementingsolutionsbasedonICMderivesfromtwoissues:
TheinfrastructureunderICMincludesmultipleIBMtechnologiesaswellasmanyacquired
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technologiesforexample,Cognos(foranalytics),Datacap(forcontentcaptureandintegration
withthirdpartyrepositories)andContentNavigator(althoughnowincludedinversion5.2.1).This
makessystemadministrationandmanagementoftheenvironmentcomplex.
TherichnessofcapabilitiesofferedintheICMframeworkmakesdevelopingsolutionsformore
sophisticatedcasehandlingquitechallengingandrequiresadvancedprogrammingskills.
Consequently,nearlyallcustomerswithwhomwehavespokenhaveengagedIBMorpartnerprofessional
servicestoleadthedevelopmentoftheirsolutions(contributingtoahighinitialinvestmentrequiredto
getstarted).IBMhasstartedtoaddressthisissuewithawizardlikefrontendmeanttoenablehighlevel
designsforthesimplestofcasestobedonebylesstechnicallyinclinedindividuals.Inaddition,toaddress
thepriceandcomplexityissue,IBMhasreleasedabundlecalledIBMContentFoundationthatisa
simpler,lowercostcontentmanagementcapabilitythatcompeteswithSharePoint.Ithasthesamecore
contentengine,plusthenewerContentNavigatorUIarchitecture.
ThebestcapabilitiesofICMareitsstrongcontentmanagementandcontentinteractionservices.ICMnot
onlyleveragestheIBMECMrepositoryunderneath,butcanalsoeasilyworkwithmanythirdparty
repositoriesviatheCMISstandardorbyleveragingthecapabilitiesofDatacap.Thelistofinteractionswith
contentnotonlydocumentsisextensive(aswouldbeexpectedofanyproviderfromastrongECM
heritage).Theseinteractionsincludesearch,collaborate,revise,tag,scan,viewandmore.Content
Navigator(availableduringourevaluationphaseasversion5.2.02)alsoextendstheinteractionswith
othercontentandisamuchbetterUIframeworkthantheoriginalBusinessSpaceandformUIs.
(MigrationfromtheolderUIstoContentNavigatorrequiresredoingwidgetwiringandcustomwidgets.)
MobilityisenhancedalsowithContentNavigator.
ThegrowinglistofindustryspecificsolutionsbuiltusingICMalsodistinguishesIBMinthisanalysis.IBM
offerssomeofitsown,includingitsIntelligentInvestigationManager,basedonanotheracquisition.This
solution,whichincludesi2forensicanalysis,strengthensICMforinvestigativecases,anareawheremany
ofthevendorsinthisanalysisaresomewhatweak.
SolutionsbuiltinICMareadaptabletotheextentthatsolutiondesignersanticipateneedsforadaptability.
ICM'smodelsareessentiallyconfigurationmodelsandtherearemanypossibilities.Forexample,at
runtime,workerscanaddadhochumantasksandtakeadhocactionsattheirdiscretion.However,this
ispossibleonlyifthesolutiondesignergrantsthemthisprivilege,andifthiscustomtaskcapabilitywas
includedinthesolutiondesign.Thus,solutionbehaviorisadaptabletotheextentthatdesigners
anticipateneedsforadaptability.UnderthecoversofICMistheFileNetBusinessProcessExecution
Language(BPEL)workflowengine,whichhasbeenmergedwiththecontentengine.JavaScriptisalso
usedinplaces.AlthoughtheoverallsolutionmeetsGartner'sdefinitionofadirect,modeldriven
applicationframework,executionbehaviorisnotquiteas"adaptive"asafewotherproductsare.
Lexmark(Kofax)
OfferingEvaluated:KofaxTotalAgility7.1
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Kofax3TotalAgilityisaniBPMSwithstrongsupportforcontentcentriccasemanagementsolutions.
TotalAgilityaddressesawidespectrumofprocessrelatedneeds,rangingfromhighlystructuredand
predictablesequencesofactivitiestomoredynamic,adhocandunpredictableusecases.ItsiBPMS
providesacombinationofpredictableandunpredictableeventprocessingcapabilityandsupportsabroad
rangeofapplicationsandusecases.TotalAgilityalsoprovidesvisualmodelsthatenablebothbusinessand
technicaluserstoeasilymodifythecasemanagementsolutionsandmakedynamicchangestoworkin
flightinresponsetobothpredictableandunpredictableevents.Kofaxcurrentlyhaseightsolutionsat
LayerCbuiltusingTotalAgilityforavarietyofindustries.Itcanbedeployedasanonpremisesorcloud
BPMplatformasaservice(bpmPaaS)solutionindedicatedormultitenantconfigurations.
TotalAgilityincludesdatacaptureandoutputcapabilities.Itcaningestcontentinmultipleformatsand
frommultiplechannels,makingimagesanddataavailabletothecasemanagementprocesses.
TotalAgilityintegrateswithKofax'sCommunicationServerandCustomerCommunicationManager
productforoutputmanagement.ItsintegrationwithSMTPserversprovidesforeasyemailintegration
anduseofMicrosoftOfficeforlatebindingdocumentcompositionanddistribution.TotalAgilityalso
integratestoKofaxesignatureproductstosupportusecaseswheresignaturegatheringandverification
isimportant.TotalAgilityprovidesintegrationthroughseveralmethods,includingindustrystandardssuch
asCMIS,technologyadapterssuchasWebservices,andplatformspecificadaptersforproductssuchas
MicrosoftSharePoint.
TotalAgilityleveragesthirdpartycollaborationtoolswithMicrosoftExchangeandSharePointforinternal
andexternal(businesstobusinessandbusinesstoconsumer)collaboration.Casemanagement
applicationscanrouteprocessesbasedonavailability,securitylevelandskilllevel,andcanuseSharePoint
forwikis,sharedcalendarmanagementandcollaborationworkspaces.Thisdependencerequiresrelease
coordinationonthepartofsystemadministratorsacrosstheseplatforms.
TotalAgilityprovidesextensiveprocessauditing,analyticsanddashboards.Processmapanalyticsenable
userstorapidlyidentifyhotspotsandtounderstandhowtoeffectivelyoptimizecostortimewitha
processoractivity.Inflightchangestotheprocesscanthenbemadebytheuserorautomatically
invokedbasedonspecificconditions.SLAindicatorscanbespecifiedforanyactivity,allowingforquick
visualizationofprocessissues.Predefineddashboardsandmobiledashboardsproviderealtimebusiness
intelligence.TotalAgilityalsointegrateswithKofaxInsight,ananalyticssoftwareproductacquiredby
Kofax,forcaseswhenbroaderbasedbusinessactivitymonitoringandanalyticscapabilitiesarerequired.
Althoughitisbuiltforcooperationinheterogeneoustechnicalenvironments,TotalAgilityisbestsuitedfor
Microsoftshops,whichcanleverageitsnativeintegrationtomanyoftheMicrosoftinfrastructure
platforms.ServicerequestsandprocesstodecisionrepresentstrongusecasesforTotalAgility.
MicroPact
OfferingEvaluated:entellitrakCaseManagementFrameworkv.2
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MicroPactisoneofthesmallerandmorespecializedprovidersinthisanalysis.Originally,acontractorto
theU.S.federalgovernment,MicroPactshifteditsbusinessmodelin2002tobecomeasoftwareproduct
providerandlaunchedentellitrakin2006.Thisproductispurposebuilttoaddressthecomplexityofcase
handling.AlthoughthecoreplatformmeetsGartner'sdefinitionofaBPMS,itisaspecializedplatform
meantforcasemanagementstyleprocesses.Data(ratherthanworkflow)istreatedastheprimary,first
classobject.Thus,modelingbeginswiththedatamodel.Data(bothstructuredandunstructured)and
policies(rules)areelevatedoverprocedures(structuredandunstructuredflows),alldrivenbycontent
andeventstates.
TheCMFisbundledwiththeentellitrakplatformbutisnotpartoftheplatform.Itisacrossindustry
preconfigurationatLayerBthataddscommoncasemanagementfunctionalityoverandabovethe
featuresoftheplatform.Theframeworkprovidesbasicoutoftheboxdesignpatternsandexecutable
softwarecomponents,suchascasedetailfolders,workflowelements,documentrepositories,contacts
(listingsofindividualsrelatedtoacase)andformletters.Theplatformitselfincludesrolebasedsecurity
models,usermanagement,searching,reporting,interfacesandinteroperabilitythatarecommontomost
casemanagementscenarios.Ontopofthecoreframework,MicroPactoffers22preconfigurations(such
asAlternativeDisputeResolution,EqualEmploymentOpportunityManagement,PressandMedia
RelationsManagement,BackgroundInvestigations,andWorkersCompensationCaseProcessing)atLayer
C.
Withastrongfocusoncasedata,entellitrak'sbestcapabilitiesareitssupportforstructuredand
unstructureddata.Thisstrengthensitsratingintheinvestigativeusecase.Beyonddocuments,
unstructuredcontentsupportincludesvideo,audio,email,scanneddocumentsandreports.Caseworkers
cancollaborateandcommentonalltypesofdatathatexistinthesystempursuanttotheirrolesand
permissions.Inaddition,viatheoptionaldocumentmanagementmodule,participantscaninteract
furtherwiththecontent,performingactionssuchasannotating,commenting,redactingand
collaboratingontextbaseddocumentdata.AsaJavaplatform,entellitrakalsocaninteroperatewellwith
externalassetsviaopenWebservicesstandardsandAPIs.
Entellitrak'sotherstrengthisitsprovenusageinlargescaledeployments.MicroPacthaslarge
deploymentsinU.S.federalgovernmentagenciesandhasexpandeditssalesfocusintotheprivate
sector,initiallytargetingprimarilyhealthcareenterprises.
AlthoughMicroPacthasgoodcapabilitiesinothercriticalareas,manyofthesecapabilitiesarenotpartof
theCMF.Forexample,domainspecificadaptersthatarenotpartoftheCMFaresupplieduponrequestat
noadditionalcost.Inaddition,mobile,directscanning,faxandOCR(escan),andportalsforconstituents
externaltotheorganization(efile)areprovidedinaddonmodulesthataren'tincludedinthebaseCMF.
Partsofthebusinessintelligence(BI)oranalyticscapabilitiesarealsoanoptionalmodule.
Theexecutionbehaviorofsolutionscanbeasadaptableasdesignersdeemappropriatefortheworkforce.
Entellitrakusesacombinationofparametric,configurationandexplicitmodels.Controloversolution
behaviorisbasedondesignapproachandpermissions.Withpermission,workerscanaltermodels,which
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arehighlyconfigurableandeasytouse.However,theyarenotveryvisual.Theyaredataandtext
oriented.Asaplatformpurposebuiltforcasehandling,entellitrakisbetteratunstructuredflowsthan
traditionalstructuredworkflows.
AweaknessforentellitrakisitsUIcapabilitiesanduserexperience.TheUIsaremostlyforms.Thereare
fewotherchoicesofUIstyles.Theuserexperienceisverydependentonrole.Individualusersmayhave
tohavemultipleroleswithinasystemeachrolegivingthatuseradifferentview,datapresentation,
functionalityandworkflow.Additionally,userscanmaketheirownrealtimedashboardreportsand
metrics(andchoosetosharethosereports),andtheycanchoosewhattoexposeandtohideontheir
dashboards.
NewgenSoftware
OfferingEvaluated:NewgenOmniFlowforCaseManagement10.0SP5
NewgenOmniFlowforCaseManagementisaCMFatLayerBbuiltontheOmniFlowsuite,aniBPMS
product.TheCMFincludesbothcoreBPMcapabilitiesand"solutionaccelerators."Newgen'soutofthe
boxsolutionframeworksatLayerCincludingacceleratorsforservicerequestmanagement,
correspondencemanagement,legalcasemanagement,customeronboardingandloanoriginationhave
beendevelopedforOmniFlowforCaseManagementtosupportrapiddeployments.However,thematurity
ofthesolutionacceleratorsisinconsistent.Assuch,customers'experienceswillvaryaccordingtowhich
acceleratorisused.ThroughNewgen'spartners,severalindustryandcrossindustrycasemanagement
solutionsareavailabletohelpcustomersacceleratetheirtimetosolution(althoughnotallarelicensed
software).Collectively,theseaddresssomeneedsatLayersCandD.
OmniFlowforCaseManagementhasstrongBPMandECMcapabilities,includingsupportformanaginga
broadrangeofdatatypes,withanunderlyingrepositorythatisplatformneutralwithregardtothe
formatofdocuments.Itprovidestheabilitytoassociatedifferenttypesofobjectswithacase.These
objectsincludeprocesses,documentsandstructureddataattributes,withcapabilitiessuchasviewor
read,commentorredline,highlight,updateorchange,andappend.Theproducthasgooddatacapture
andoutputmanagementcapabilitieswithstrongcontentcapturefunctionalityfrommultiplesources,
includingmobilecapture,andintegratedoutputmanagementforoutboundcontentsuchas
correspondenceandreports.
OmniFlowforCaseManagementprovidesabroadrangeofcaseorchestrationforstructuredand
unstructuredflows.Itsupportscaseworkthatiseventdriven,usingEsperforcomplexeventprocessing
(CEP),orthatrequiressupportforadhocresponsivenesswithinspecificcontexts.Usingitsprocess
engine,theproductcanleveragebusinessrulesasitaccessesstructureddata,unstructuredcontentand
repositoriesofprocessmodels.Itcanthenuseanalyticstoprovidereportingandcasestatus,and
maintaincontextthroughoutacasecycle.
OneofthestrengthsofOmniFlowforCaseManagementisitsuserpersonalizationandgraphicalUI(GUI)
support.TheGUIarchitectureisbasedonacomponentmodelwhereacontainercalledOmniAppis
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provided.Administratorscanconfiguredifferentdesktopsanddashboardsfordifferentsetsofusersand
applications.Theproductprovidesdefaultprocessingdesktopsforallstandardusecases,whichcanbe
furtherconfigured.AnHTML5basedmobileappforcontentandworkflowmanagementisalsoavailable
foruserswithfeaturessuchasviewing,searching,imaging,downloadingandemailingofcasedocuments
ontheirmobiledevices.
Overall,OmniFlowforCaseManagementprovidesastrongflexibleandconfigurableplatformforcase
management,withindustrysolutionacceleratorsforquickdeployments.Newgen'smultiproductapproach
isarchitecturallydesignedonthesamecoresoftwareplatform,whichwilllowertheintegration
complexities,risksandcosts.
OpenText
OfferingEvaluated:OpenTextProcessSuitev.10.6
OpenTextProcessSuiteincludescasehandlingcapabilitiesandpackagesProcessSuiteplatformv.10.6
(theOpenTextCordysBPMengine),ProcessComponentLibraryv.10.6,ProcessExperiencev.10.6,
ProcessIntelligencev.10.6andBPMEverywherev.10.6intoonebundle.OpenText'sbasicCMFisan
assemblyofcrossindustrycomponentlevelassetsinitsProcessComponentLibrary.Processsupport
usesCMMNandBPMNstandards.Checklists,servicesandtemplatesallowforstructuredcomponentized
processes,executedasdefinedorasoptionsforknowledgespecialistsrolesbased.
OpenTextProcessSuiteisaBPMSthatprovidesstrongcontentservicesaswellasintegrationtoabroad
rangeofcontentmanagementsystemsandcloudbasedfilesharingsolutions.Theplatformincludes
additionalcrossindustrycapabilities(suchasprojectmanagement,SLAs,checklistsandashoppingcart).
OpenText'scontentmanagementproductsalsocomplementtheProcessSuite.
AnotherpartoftheProcessSuiteisBPMEverywhere,acloudbasedsocialcollaborationservicethat
facilitatesusercollaborationontopics,casesandprocesses.Theopeninterfacealsoallowsintegration
withclientspecificplatforms.TheProcessSuiteisamultitenantsolutionthatisofferedinmultiple
configurations,includingpubliccloud,privatecloudandmanagedservices,atanattractivepricepoint.
TheOpenTextProcessSuiteplatformincludesJackrabbit,anembeddedopensourcecontentrepositoryfor
basiccontentmanagement.ItalsoincludesastandardJSR170compliantinterfacetoexternalECMand
DCMsolutions,alongwithintegrationforOpenTextContentServer.SOAservicesandenterpriseservice
bus(ESB)functionalityareprovidedforservicedevelopmentandmorecomplexintegrations.
OpenTextisneitherindustrynorhorizontalbusinesssolutionfocused.Itismoreofaplatformprovider
withsomesolutionsofferedpartlyasaresultofitsacquisitions.IthasrecentlyreleasedaDigitalMedia
SupplyChainappandaContractsManagementapp.Likemanyothercloudplatformproviders,OpenText
istryingtoattractsolutionproviderstoitsEnterpriseAppStore.ItsProcessComponentLibrarycontains
softwarecomponentsorganizedbybusinesslogic,technicalfunctionalityandUIcomponents,for
example.Someareconfigurable,andsomearenot.Theseassetsprovidearchitecturalguidanceata
componentlevel,butnotatasolutionlevel.OpenTexthasleveragedsomeofthesecomponentstocreate
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itsownbasicCMF(LayerB).ProcessComponentLibraryassetsarelicensedaspartoftheBPMSplatform.
TheProcessSuitehaslimitedcapabilitiesforhandlingstructuredcontentforcasemanagementdomains.
OpenTexttypicallypromotesitsProcessSuiteasaplatformparticularlywellsuitedforcontentheavy
processdomains(suchasincidentsandinvestigations).Italsoadherestotheindustrystandarddefinition
ofServiceRequestandRequestFulfillment:ServiceRequest(ITILV3).Manycustomershaveleveraged
thisstandardtocreatetheirownservicerequestcasehandlingsolutions.
Pegasystems
OfferingEvaluated:Pega7
AsaniBPMSmarketleaderwithaplatformthatsupportsmanyprocessstylesverywell,Pegasystemsis
thehighestratedproviderinthisevaluation.
Pega7isanapplicationinfrastructureplatformthatusesaneventstatebasedarchitecture.Itcombines
processflowdefinitions,ruleprocessing,datahandling,crossplatformUIs(mobileandother),predictive
analytics,businessactivitymonitoring(BAM),contentmanagement,applicationintegrationandother
functionsinonedirect,modeldrivendevelopmentandruntimearchitecture.Itisafunctionallyrichand
sophisticatedJavaplatform.PegasystemsdoesnotofferaseparategeneralpurposeCMF(atLayerB).
Rather,itoffersmorethan20crossindustryandverticalindustryspecificsolutionframeworksformany
solutiondomains,someofwhicharecaseoriented.Thesesolutionsareadditional,licensed,feebased
solutionsontopoftheplatformatLayersCandD.
Pega7scoredwellinmanyareas.Thisisamatureproduct,withstrongbalancedfunctionalityacrossall
ofourninedefinedcapabilities.Muchofthisstrengthderivesfromitsunifiedarchitectureandintegrated
technologies.ThereisnorepackagedtechnologyherePegasystemsownsitall.WhenPegasystems
acquirestechnologies(forexample,itsrecentacquisitionofAntennaSoftwaretoenhanceitsmobile
capabilities),itreimplementsthecapabilitiestotightlyintegratethemintotheplatform.Internally,Pega
7isamultilayeredsetofmodelsandmodules,withmanyAPIs,Webservicesandotherinterfaces(such
asRESTfulones)thatcanbeusedtointegrateexternalbusinessapplicationsintothesolution.
AnothermajorstrengthofPega7isitsdeclarativeruleslanguage.Rulesaretheprimarymechanismby
whichsolutionbehavioriscontrolled,atveryfinegrainedlevelsofrestrictionorfreedom.Forexample,
theuserexperienceandUIsarecontrolledthroughrules.Rulesarealsousedtocontrolandautomate
upgrades.Rulesareusedtointelligentlycapturecontentfromvariousdatacaptures,aswellasto
customizecorrespondenceforoutputmanagements.RulesalsoenablePega7tohandlecomplex,nested
casehierarchiesverywell.RulesenablePega7tosupportaverywiderangeofsolutionbehavior,from
veryprescriptiveandcontrolledtoverydynamicandadhoc,shouldthedesignerswishtograntthat
degreeoffreedomtoindividualsorgroupsofworkers.Inthisway,solutionsbuiltinPega7havethe
potentialtobemoreadaptivethanthoseofferedbymostotherprovidersinthisevaluation(althoughfew
organizationsfullyexploititspower).
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Althoughmostofthecriticalcapabilitieswedefineinthisreporthavebeenintheplatformforyears,they
werenotreadilyobvioustosolutionarchitects.InPega7,Pegasystemsintroducedanewvisualdesigner,
referredtoasits"stagebased"casedesigner,meanttosimplifythevisualizationandmanagementofthe
caselifecycleandintroducecasetypesandstages.Stagesinthenewdesignerreflectthemajoractions
forcasehandlingandrepresentmilestones.Conceptually,milestonesarerelevanttomanytypesof
cases.Similartoprojectwork,manytypesofcaseshavedependenttasksorworkflowsthathavetosync
upatcertainpointsmilestones.Casesareoftenreassessedatthesepointstodeterminethenextmost
appropriateactions.(Healthcareclaimsofferanexampleofcasehandlingthatoftenutilizesthisconcept.)
Furthermore,changesinonecasecanhavearippleeffectonothercases.Thenewdesignerismeantto
helpmovecustomersfromlinearworkflowthinkingtocontextandoutcomethinking.
Nevertheless,wedidnotfindthisnewdesignerthathelpfulforachievingthesegoals.Although
somewhatintuitiveforbusinessroles,itschevronshapesaggregateactionsinto"stages"milestones
inalistview,visuallyconveyinglinear,predictableflowratherthanmultiple,dependentandpotentially
parallelflows.Designingdependent,parallelflowsisacriticalarchitecturalrequirementforcase
management.Thus,wedonotfindthisnewdesignerthathelpfulforsolutionarchitects.Specifically,
thereisnoguidanceintheproductthathelpsanarchitectdecide:
Ismyproblemcaselike?
Ifitiscaselike,shouldIusethestagebaseddesignerorthetraditionaldesigner?Arethere
consequencestomychoice?
SimilartoIBMandEMC,Pega7'ssophisticationcomesatahighpriceinlicensingcostsanddesirable
professionalservices.Pegasystems'solutioncontentisstrongandoftencompeteseffectivelywithfull
COTSapplications.UnliketraditionalCOTSapplications,Pegasystems'"buildforchange"solution
frameworksaremoreeasilyextended,integratedandconfiguredtomeetspecificbuyerneeds.However,
mostbuyersdesireprofessionalservicesassistancetodothiswork,atleastinitially,becausethe
developmentparadigmofPega7issodifferentfromotherenvironmentsthey'veusedpreviously.Thus,
thereisalearningcurve.Inaddition,customizationofthesolutionframeworksrequiresasolid
understandingoftheoutoftheboxfunctionality.Pegasystemshasmanytrainedandcertifiedpartners
todelivertheseservices,aswellasasmallerprofessionalservicesgroupofitsown.
Context
OuranalysisoftheseofferingssuggeststhatBPMplatformbasedprovidersrepresentamarketsegment4
withconsiderablepromise,butonethatalsohasseveralareasofimmaturityandroomforimprovement.
Basedonthecapabilitiesoftheseofferings,"adaptivecasemanagement"isstillmorehypethanreality.
The"adaptive"behaviorenabledintheseframeworksistypicallylimitedbypredeterminedoptions,
humantasksonlyandrolebasedprivileges.Manyuseconfigurationandparametricmodelsthatexpose
predeterminedoptionsratherthanincorporatingtechniquesandtechnologiesthatenableunplanned
solutionbehavioratexecutiontime(akainproductionmode).Vendorsthatscoredhigherinouradaptive
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casehandlingcapabilityenablemorebehavioralchangesthanothers.
Insomeofthesesolutions,caseworkerscaninitiateanadhoc(discretionary)humanactiononacase,
alteringtheexecutionbehaviordirectly.Thisisparticularlyusefultoempowercaseworkerstocreatean
actionspecifictoanindividualcasesuchasrequestadditionaldata,routethecasetobereviewedwith
someoneoutsideofthedefinedparticipants,repeataprioractionanddelayuntilsometimeframeor
event.Vendorsincorporatevarioustechniquestodothis,andtheimplementationdetailsarerevealing.
Someusetechniquesthatestablishconstraintsguardrailsaroundthetypesofactionsthatare
possible,butwithoutprescribingeverypossibleaction.Inothers,theactionisopenended,withmetadata
capturedintheexecutionhistorythatdescribesitscontext,givingthecaseworkermorefreedomtotake
moredynamicaction.
"Adhocaction"isacrucialconcepttoadaptivecasemanagement,yetthereisnouniversaldefinitionof
whatexactlythismeans.5Theideaistoessentiallyempowertheworkertoaltertheflowandthe
activity,basedoncontext,judgment,dataandpolicies,ratherthanfollowingaprescribedsetofactions
andflow.TheCMMN1.0specificationgetscloserthanBPMN2.0todescribingsuchbehavior.Enabling
unplannedactionsandunplannedsequencesinthiswayrequiresenterprisestomaintainafineline
betweenchaosandcontrol.Enterprisesinterestedinthiscapabilityshouldexaminetoolsclosely,
leveragingourscoresintheadaptivecasehandlingcapability,toseehowwelltheproductenablesthem
toestablishthatfineline.
Currently,buyerdemandfortrulydynamicandadhocadaptationattheindividualcaselevelremains
relativelyrare.Formostusers,predefinedanduserselectedoptionsforcasehandlingaresufficient.
(Buyerswhodonotwantsolutionsthatofferadaptivebehaviorshouldconsideramoretraditionalcase
managementspecializedCOTSapplication,ratherthanaCMF.)Werecommendthatclientsconsidertheir
potentialrequirementsfor"adaptive"behaviorincasestyleworkandidentifyappropriateguardrailsto
containchaoswhilealsoempoweringcaseworkerstoexploittheirjudgmentandexpertise.Accordingly,
theyshouldevaluateCOTScomparedwithCMFsbasedonthedegreeofadaptabilityofthesolutionand
howthatadaptabilityisachieved.
Ingeneral,theclientreferenceexampleswerevieweddemonstratedadaptabilityinconjunctionwithdata
andprocessintegrity.ThesemodeldrivenCMFsoffergreatershortandlongtermflexibilityforcase
managementusecasescomparedwithtraditionalcodedCOTSspecialtyapplicationsforcase
managementdomains.Theuseofvisualmodels(includingconfiguration,parametricandexplicitmodels),
declarativelanguages,heuristics(basedonrules),aswellasXMLeventandstatedrivenruntime
enginesarethemaincontributorstothisgreaterlevelofadaptability.Manyofthesolutionsreviewed
hereprovideoutoftheboxconfigurationandparametricmodels,6whicharevaluableforaccelerating
implementationtime,givenhowdifficultitcanbetodesignandarchitectcasemanagementsolutions
fromscratch.However,configurationandparametricmodelsarenotaseasilyextendedandmodifiedas
explicitmetadatamodels.
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Inaddition,thecoinnovation7capabilitiesofferedbytheseframeworkstendtobebetterthanthoseof
COTSapplications,althoughthereisstillmuchroomforimprovementinthisarea.Truecoinnovation
meansthattheprovider'supgradeprocedureisintelligentandautomated.Itprotectsbuyer
customizationsbyeliminatingmanualreconciliationofchangesmadebybothparties.Anintelligent
upgradeprocedurelowerstherisksandcostsofmaintaininganadaptablesolution.
Product/ServiceClassDefinition
Casehandlingisacomplexandunstructuredprocessstyle8where:
Theflowofwork(theindividualcase)isnonlinear,oftenrecursiveandnoteasilypredeterminedat
designtime.
Multiple,dependentworkflowsoftenruninparallelfordifferentobjectsinthecase.
Althoughcasemanagementapplicationshaveexistedforyears,asaprocessstyle,casemanagementis
nowbeingadoptedmorebroadlyinindustriesbeyondthegovernment,legalandinsurancesectors.New
areasbeingconsideredforcasemanagementsoftwaredesignsincludemortgageorigination,investment
portfoliomanagement,variousfrauddetectiondomains,HRgrievances,backgroundchecks,university
admissions,grantsmanagementandcustomercomplaints.Thedegreeofflexibilityneededfor
progressingcasesineachofthesedomainstoasuccessfuloutcomevariesconsiderably.Case
managementstyleprocessesrangefromareaswheretheworkflowanddatainteractionsarefairlywell
understoodandsomewhatstructured(suchasinsuranceclaims),tohighlydiagnosticandinvestigative
casedomains,whicharefarlessstructuredandmorechallenging.Thelattercasemanagementdomains
areincreasinglydescribedas"adaptive" 9or"dynamic"casemanagementbyproviders.
CMFsevaluatedinthisreportarecommercialsoftwareofferingsdesignedtoreducethecomplexityof
creatingcasestyleprocesssolutionsbyembeddingsomebestpracticesandarchitecturalpatternsinto
theframework.Theyprovideoutoftheboxdesignpatternsandexecutablesoftwarecomponents(such
ascasefolders,contentindexing,rolebasedworkbenches,businessrules,activitiesandmilestones)tobe
configuredandextendedbybuyers.BPMplatformbasedCMFscanbecrossindustrydesignpatternsfor
certaintypesofcasework(suchasinvestigativecasesorservicerequestcases),solutionspecific(suchas
offersforuniversityadmissionortaxfilings),orindustryspecific(suchasU.S.healthcaremedicalclaims).
Evenframeworksthatareapplicationorindustryspecificarestillframeworksthatis,partialsolutions,
not100%applicationsolutions.Unlikeatraditionalpackagedapplication,aframeworkisnotmeantto
provide100%ofneededfunctionality.Itisanoutoftheboxdesignpatternmeanttojumpstart
solutioncreationandbefinishedbytheendconsumer.
BPMplatformbasedbasedCMFsenablebuyerstocreateacustomizedsolution,usinga"middleground"
optionbetweentheusual"buy"and"build"choices.Althoughcasemanagementisnotanewprocess
style,BPMplatformbasedframeworksarearelativelynewproductoffering.Becausecasestyleworkis
unstructured,anycommercialsolutionwhetheratraditionalpackagedapplicationoranewer,BPM
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platformbasedframeworkmustprovidebuyerswithanabilitytoeasilyadjust,extendthefunctionality
andcustomizefunctionalitytotheirneeds.ThemodeldrivenapproachofBPMplatformbasedCMFs
makesthemeasiertomodifyandmaintainthantraditionalcodedandcompiledapplicationsolutions.The
techniquesmentionedabovetoenabledynamicandadhocactionsalsoaddgreaterdegreesofflexibility
thantraditionalCOTSapplications.
CriticalCapabilitiesDefinition
Adifferentiatingaspectofcaseworkisthatthecaseflowcanrarelybecompletelypredeterminedand,
therefore,cannotcompletelybeprescribedatdesigntime.Mostcaseworkrequiressomedegreeof
adaptivebehaviorintheruntimeexperience,whichenablesthecaseworkertoaddresstheuniqueneeds
ofhisorhercase.BuyersofBPMplatformbasedCMFsmustdeterminetherightdegreeofadaptability
neededfortheirsolutiondomain.Typically,theprogressionofacaseispartiallystructured
(predetermined)andpartiallyunstructured.
Therearetwoapproachesfordelimitingtherangeofadaptability:
Atoneendofthespectrum,caseworkcanbeperformedaccordingtoadesign(doingbydesign),
wherehandlingoptionsarepredefinedaspartofthedesign.Here,workerschoosethemost
appropriateoptionfortheircase.
Attheotherendofthespectrum,casehandlingcanbeperformedcompletelyatthediscretionof
thecaseworker(designbydoing),wherethecaseworkerdecideswhatshouldhappennext,based
oncontext.Casehandlingisimprovisedbasedonthecontextualsituation.
Mostbuyerrequirementsexistsomewherebetweenthesetwoextremes.Thus,akeyrequirementisto
considerhowadaptivecasehandlingneedstobe.
Waysofstrikingabalancebetweenplannedandunplannedactionsincludelimitingprivilegesandaccess
rightsbasedonrole,namedworkerorsomeothercriterialimitingthetypeofadhocaction(thatis,
humanperformedtasksonly)orlimitingthetiming/contextofwhentheactionscanoccur.
GartnerhasdefinedthefollowingninecriticalcapabilitiesthataBPMplatformbasedCMFshouldreflect.
ThecapabilitymaybelocatedwithintheCMFitselforontheBPMplatformonwhichtheCMFisbased.We
applythesecriticalcapabilitiestotheCMFsincludedinthisevaluationtohelpenterprisesdistinguishthe
rightproductbasedontheirintendeduseforthesesolutions.
AdaptiveCaseHandling
Caseworkersoftenneedtheabilitytodecideonthebest,nextactiontotakeonacase,basedonthe
context.Adaptivebehaviorreferstothetypeofactionspossible(plannedandunplanned,humanand
systemperformed)andthetimingofwhensuchactionscanoccur(plannedandunplanned).
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Runtimeadaptivebehaviorcanbetriggeredinmanyways,suchasthroughheuristicrules,policies,
humandecisions,automateddecisions,autonomousmachines,patternmatching,contextmetadata,
eventdrivenarchitectureandmore.Buyersshouldevaluatecloselywhocantakewhatactionandat
whatpointintime.Suchbehaviorisdescribedusingvarious,nonstandardterms,includingdynamic,ad
hocandimprovisationalbehavior.Thekeyistolookathowbothhumanandsystembehavioris
constrainedornot,andhowwellitmatchestoyourneeds.
ContentInteraction
Thiscriticalcapabilitysupportsabroadrangeofinteractionswithinformationcontentassociatedwiththe
caseorcases.
Caseworkersmustbeabletointeractwithinformationorcontentassociatedwiththecase,with
capabilitiessuchasview/read,comment/redline,highlight,update/change,appendandsearch/filter.
RuntimeCollaboration
Individualsandgroupsworkingonacase,includinginternalandexternalcaseparticipants,can
dynamicallycollaboratethroughoutthecaselifecycle.
Thesolutionsupportscollaborationamongpeople(andevenpotentiallywithmachines)10andrecordsall
interactionsaspartoftheaudittrailofhowacaseishandled.Multipletechnologiesaretypically
integratedtosupportcollaborativeinteractions,includingemail,chat,IM,socialmedia,erooms,threaded
conversations,simultaneouseditingandremotescreensharing.
IntegrationandInteroperability
Thesolutioniseasilyintegratedandinteroperablewithexternalassets,includingverticalandhorizontal
specificapplicationsanddatabases.
Casemanagementsolutionsoftendependonexternalcontentandprocessservicesderivedfrom
repositoriesandapplicationsthattheBPMplatformbasedCMFproviderdoesnotprovide.Theattraction
ofopen,standardspecifications(likeCMIS,RESTfulinterfacesandWebservicesstandards)isthat
integrationwithexternalsoftwareassetsshouldminimizecoding.Integrationandinteroperabilityshould
beaseasyaspossible.BPMplatformbasedCMFsmustintegratewithcriticalsystemsofrecord,including
legacy,industry,Webandsocialdatasources.
Casemanagementapplicationsoftendependonindustryspecific,esotericcommercialapplications.BPM
platformbasedCMFprovidersarewellacquaintedwiththespecializedapplicationsanddatasourcesthat
dominatetheindustriesanddomainsinfocus.Consequently,theyofferoutoftheboxspecialized
integrationtechnologytoaccelerateintegrationwiththesecoresystems.
Inaddition,toavoidturningBPMplatformbasedCMFsintoyetanotherapplicationsilo,thebestBPM
platformbasedCMFsaredesignedtointeroperatewiththirdpartycontentandprocessservices,perhaps
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byleveraginganexisting(dominant)clientsuchasaMicrosoftOfficeorSharePoint,aJSR168portletto
interoperatewithcommonportals,orarichInternetclientthatworksacrossmultiplebrowsersorwith
multipleapplicationservers.Similarly,casehandlingisoftenconstrainedbyrulesthatmaybemanaged
inanexternalruleengineandthussharedacrosstheBPMplatformbasedCMFandotherapplications.
DataCaptureandOutputManagement
Thesolutionincorporatesintelligentandversatiledatacaptureandoutputmanagement.
Datacaptureandoutputshouldbeabletouseabroadrangeofdatatypes,fromhighlystructureddata
(suchasanindividual'sname,addressorID)tohighlyunstructureddata(suchasscannedimages,
blueprints,faxes,emailcommunications,andaudioorvideofiles).FromdatacapturessuchasOCR
devices,documentscanners,mobilephonecameras,faxserversandeformsdataiscaptured,
validatedandmoveddirectlyintocasesasappropriate.
Outputmanagementincludestheabilitytogenerateoutboundcontentlikereportsorprecomposed
letters,correspondenceorstatements.Inaddition,theabilitytoexportcasedatatothirdpartiesthrough
avarietyofoutboundfileformatsisalsoimportant.
OutoftheBoxComponents
Thesolutionprovidesoutoftheboxlicensedsolutioncomponents,suchasdomainspecificbusinesslogic
andfunctionsasconfigurableandextensiblemodelstoeasilycreateaunique,scalableimplementation.
Solutionsmaybeindustryorcrossindustryspecific.
Frameworksaredistinguishedfromtraditionalcommercialofftheshelfapplicationsinthattheyarenot
intendedtobeaperfect,100%fitforpurposesolution.Theyareintentionallydesignedforconfiguration,
integration,interoperabilityandextension,andprovidehighvaluetobuyersbyacceleratingthetimetoa
uniqueimplementationwithlittletonocustomcoding.
BPMplatformbasedCMFsusevisualmodels(whichmayuseCMMN,BPMNorsomeothernotations)that
areinterpretedatruntimebyanorchestrationengine.Modelsareessentiallymetadata,notcode.
Solutionbehaviorischangedbyextendingthemodelsthroughconfiguration,integrationandadded
functionality,usingtheplatform'stoolingandinteroperatingwithexternalsoftwareassets.
Ideally,theframeworkalsoprovidesarchitecturalguidanceappropriatetothesolutiondomainby
includingworkflowpatterns,casedataobjects,metricandcasehierarchypatterns,wizards,coaching/help
text,downloadableexamplesorevenanimplementationmethodology.Architecturalguidanceshouldalso
addresstheconsumer'sscalabilityrequirements.
IntelligentUpgrades
Thesolutionsupportscoinnovation,enablingeasyreconciliationofbuyerandproviderchanges.
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Ideally,configurationandextensibilityarenotjustaninitial,onetimedesignconsideration.Rather,
modelsenableconsumerstomakeongoingimprovements,innovationsandadaptationstothesolution
withoutoverlycomplicatingtheirabilitytoadoptnewversionsinwholeorinpartfromthe
providers.
Traditionally,consumer"customization"ofCOTSapplicationsdramaticallyinhibitstheabilitytoupgrade
theapplication.Themorecustomization,themoredifficultupgradesbecome.WithBPMplatformbased
CMFs,the"modelasmetadata"approachfacilitatestheeaseandvisibilityofchanges.Additional
mechanismsarealsoneededtoreconcilepotentiallyduplicative,contradictoryandoverlapping
functionalityaddedtothesolutionbyproviderandconsumer.Buyerspecificconfigurations,extensions
andintegrationsmustberespectedandreconciledappropriatelywithvendorprovidedchanges.Multiple
versionscancoexist.Inotherwords,thereisabuiltingovernanceprocesstomanagetheversioningof
solutioncomponentsindependently,aswellasholistically,toenablecontinuousinnovation.
RoleBasedUserExperience
Asolutionprovidescomprehensiveandhighlyconfigurablerolebaseduserexperiences,includingsupport
formobility.
Everymanagerwantstolimittheamountoftraining,supportandchangemanagementrequiredfor
peopletoadoptanewcasemanagementapplication.Moreover,experiencesuggeststhatrolebasedUIs
andworkbenchesfocusandsimplifycasehandlingandprovideacriticalsteptowardoverallproductivity
gain.BeyondtheUIsthemselves,BPMplatformbasedCMFsshouldprovidecaseparticipantswithrole
appropriateusabilityfeaturesthateasethelearningcurvedriveadoptionandofferselfhelpand
contextualguidanceforbestnextactionsandenableongoingconfigurabilityandpersonalizationthatis
appropriatetotheparticipant'slevelofexperienceandcasefocus.(Caseparticipantsincludecaseworkers,
thirdpartieswithvestedinterests,managers,andcustomersorconstituents.)
Inaddition,BPMplatformbasedCMFsmustsupportawidevarietyofmobiledevicesandactionson
devicesappropriateforcaseparticipants.Essentially,theBPMplatformbasedCMFdeliversa
contextualizedexperience,reflectingone'srole,one'sdeviceandthecontextwithinthecaseprogression.
(Thesekindsofcapabilitiesareoftendescribedas"responsiveUIs.")Supportforofflinemobileworkisstill
emerging.Typically,theactionsthatcanbeperformedinthatmodearelimitedtotasksthatwere
assignedthelasttimetheuserwasonline.Complexvalidationsandprocessorchestrationaretypically
deferreduntilthecaseworkergoesbackonline.Buyersshouldbecognizantofhowsuchlimitationsmay
impacttheircasesolution.
RoleAppropriateAnalytics
Asolutionprovidesroleappropriateanalytics,includingnearrealtimedashboards,metrics,decision
managementandreporting.
Buyerswantacasemanagementsolutionthatenablessubjectmatterexpertstoreceivemeaningful
informationfromthesolution,bothinrealtimeandforhistoricalreportingpurposes.BPMplatformbased
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CMFsshouldprovideoutofthebox,roleappropriatedashboards,withanalyticalmodels,easy
visualizationofanalysisandreportcreation,aswellasopenandeasyaccesstothecaseexecution's
historydatabase/logs.Prebuilt,prepopulatedmetricsreflectingsolutionappropriatemilestonesandgoals
andsupportforcriticaldecisionmaking(suchaspredictiveanalytics,recommendations,tolerance
guardrailsandothers)arehighlydesirable.
UseCases
GartnerhasdefinedfourprimaryusecasesforwhichweevaluatedtheBPMplatformbasedCMFs
includedinthisreport.
InvestigativeCases
Investigativecasesareperhapsthemostcomplexintermsofprocess(workflow)andcontent(data).
Thesecasesaredataheavy.Often,dataiscapturedaspartofthecase,andrelationshipsbetweendata
elementsemergeovertime.Patternsinthedataarediscovered,evaluatedandactedon.Sequencingof
actionsonthecaseisveryadhoc,andeventandmilestonedriven.Examplesincludetax,creditand
insurancefraud,aswellaslegalinvestigations,backgroundchecksandIPprotection.11
IncidentManagement
Incidentmanagement(collaborationheavy)casesarehighlycomplex,largelybecausetheydon'thappen
onaschedule.
Theyareanticipated,butthetimingoftheiroccurrenceishighlyunpredictable.Naturaldisasters,caror
workplaceaccidents,illnesses,HRgrievances,andpatientcareareexamples.Thesecasesoftenexhibita
greatersenseofurgencyforresolutionthanothertypesofcases.Althoughthesecasesaredata
intensive(similartoinvestigativecases),theprocessisadaptedtothesituationandoftenrequiresadhoc
actionsinadditiontoplannedactionsforanticipatedscenarios.Thus,thesecasesaremostdistinguished
bythedegreeofcollaborationactivityrequiredtoresolvethecase.
Thereareawiderangeof"incidents"withinindustriesanddomains,someofwhicharesubjectedto
nationalstandards,suchasNationalIncidentManagementSystem(NIMS)/IncidentCommandSystem
(ICS).12
ServiceRequest
Servicerequest(workflowheavy)casesinvolvethefulfillmentofarequestforservicing.
Fulfillmentisoftenacontractualobligationthatspecifiestheservicelevelexpectation.Thesecases
progressinafairlystructuredmanner,wheretheappropriateactionsandsequencesarewellestablished.
Incasestylework,alargenumberofactionsandsequencesarepossible,andthecaseworkermust
decidewhichofthevariousoptionsisappropriatetothecircumstances.Thesecasesareworkflowheavy,
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meaningthattheworkflowiscomplexandcriticaltohowoutcomesareachieved.Examplesinclude
insuranceandhealthcareclaims,warrantyfulfillment,andtelecommunicationsserviceprovisioning.
ProcesstoDecision
Processtodecision(ruleorpolicyheavy)casesaremorestructuredthanothertypes.Theworkflowis
moreeasilypredictedandcanbedesignedintoasoftwaresolution.
Thepurposeofthesecasesistomakeadecision,incaseswhereawellestablishedandoftenlargesetof
rulesorpoliciesmustbefollowedtomakethatdecision.Therulestendtochangefrequently,andmaybe
regulatedbyanindustryoragovernmentagency.Thesecasesareruleheavy.Examplesinclude
mortgageorigination,complianceauditsandtaxfilings.
VendorsAddedandDropped
Added
AINS,AWPLandEccentex
Dropped
BeInformed,BizFlow,IsisPapyrusandK2
InclusionCriteria
WeappliedthefollowingcriteriaforaproducttobeincludedinthisBPMplatformbasedCMFevaluation:
TheCMFandrelatedsolutionsuseaBPMplatformofsometype(BPMplatform,BPMS,iBPMS)to
execute.
TheproviderofferscasemanagementsolutionframeworksinadditiontoitsBPMplatform.The
frameworkiseasilydistinguishable(separated)fromtheplatformitself,althoughthevendormay
bundletheframeworkswiththeplatformfromapackagingand/orapricingperspective.
TheframeworkproviderhasdemonstratedafocusonCMFs,anditscasemanagementsolutions
havebeenavailableandactivelymarketedtobuyersforatleast12monthspriortothestartofour
marketevaluation(31August2014)representedinthecompanionMagicQuadrant.Ideally,the
frameworksarelicensed,productizedofferings.
Theprovidermarketsitsproductsacrossmultipleindustries,ratherthanfocusingonbeingan
industryspecialist,concentratingononeindustry.
Theprovider'sframeworkshavebeenleveragedbycustomerstoimplementallfourstylesofcase
handling:(1)investigativecases(2)incidentmanagementcases(3)servicerequestcasesand
(4)processtodecisioncases(see"CriticalCapabilitiesforCaseManagementFrameworks").
ThevendorprovidedGartnerwithfiveclientreferencesrepresentingadiversityofindustriesand
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usecasesthathavehadtheBPMplatformbasedCMFinproductionforatleastayear.
VendorsConsideredbutNotIncluded
Theproviderslistedbelowwereconsideredforthisreportbutwerenotincludedbecausetheydidnot
meetoneormoreoftheinclusioncriteriapreviouslylisted.
Adeptia
AgilePoint
Alfresco
Appway
BizAgi
Barium
BizFlow
BPLogix
Camunda
Canea
CoCENTRIX
ColumnTechnologies
Computas
Consor
DSTSystems
IActive
Intalio
Microsoft
Oracle
Salesforce
ServiceNow
SoftwareAG
TIBCOSoftware
Whitestein
XMPro
Furthermore,weexcludedsystemintegrationandprofessionalservicefirmsthatofferverticalindustry
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orcrossindustryspecificsolutionsbuiltonsomeoneelse'sBPMplatformbasedtechnologyplatform.For
example,IBMhasanumberofpartnersthatofferCOTSsolutionsbuiltontheIBMCaseManager.We
focusedontheprovidersoftheframeworks,ratherthansolutionsbuiltusingthoseframeworks.
Table1.WeightingforCriticalCapabilitiesinUseCases
CriticalCapabilities
Investigative
Cases
Incident
Management
Service
Request
Processto
Decision
AdaptiveCaseHandling
20%
15%
5%
2%
ContentInteraction
25%
1%
1%
10%
RuntimeCollaboration
20%
30%
25%
10%
Integrationand
Interoperability
1%
20%
5%
5%
DataCaptureandOutput
Management
1%
5%
5%
35%
OutoftheBoxComponents
1%
2%
14%
5%
IntelligentUpgrades
2%
10%
25%
20%
RoleBasedUserExperience
20%
7%
5%
7%
RoleAppropriateAnalytics
10%
10%
15%
6%
100%
100%
100%
100%
Total
AsofAugust2015
Thismethodologyrequiresanalyststoidentifythecriticalcapabilitiesforaclassofproducts/services.Each
capabilityisthenweighedintermsofitsrelativeimportanceforspecificproduct/serviceusecases.
CriticalCapabilitiesRating
Basedonthesecriteria,weratedproductsfrom12vendors.Eachoftheproductsetsthatmeetsour
inclusioncriteriahasbeenevaluatedforitscriticalcapabilitiesonascaleof1to5,with1beingthelowest
scoreand5thehighest.13Table2showsproductratingsonthecriticalcapabilities.
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Table2.Product/ServiceRatingonCriticalCapabilities
Critical
Capabilities
AINS
Appian
AWPL
Eccentex
EMC
Hyland
IBM
Lexmark
(Kofax)
MicroPact
Newgen
Software
AdaptiveCase
Handling
3.5
4.3
3.7
3.5
4.3
3.0
4.3
3.5
3.5
3.9
Content
Interaction
4.0
3.8
3.4
3.5
4.5
4.0
4.5
3.8
4.0
4.3
Runtime
Collaboration
4.0
4.5
2.5
3.5
3.2
3.0
3.5
3.6
3.0
3.5
Integration
and
Interoperability
3.5
4.7
3.8
3.0
4.0
3.7
3.8
3.7
3.0
3.9
DataCapture
andOutput
Management
4.0
3.5
3.8
2.0
4.2
3.5
4.0
3.8
3.7
4.0
OutoftheBox
Components
3.5
3.0
4.0
2.8
4.0
2.0
4.2
3.5
3.6
4.1
Intelligent
Upgrades
2.5
2.5
3.8
2.5
2.0
2.5
3.0
2.5
2.5
3.0
RoleBased
User
Experience
4.0
4.6
4.2
2.7
3.8
2.5
4.0
3.5
3.5
3.5
Role
Appropriate
Analytics
3.0
3.5
2.8
2.6
4.0
2.5
4.0
3.8
3.8
3.8
Table3showstheproduct/servicescoresforeachusecase.Thescores,whicharegeneratedby
multiplyingtheusecaseweightingsbytheproduct/serviceratings,summarizehowwellthecritical
capabilitiesaremetforeachusecase.
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Table3.ProductScoreinUseCases
UseCases
AINS
Appian
AWPL
Eccentex
EMC
Hyland
IBM
Lexmark
(Kofax)
MicroPact
Newgen
Software
Investigative
Cases
3.76
4.14
3.40
3.20
3.95
3.09
4.07
3.61
3.53
3.82
Incident
Management
3.57
4.13
3.32
3.07
3.61
3.02
3.76
3.52
3.20
3.67
Service
Request
3.36
3.59
3.36
2.88
3.32
2.71
3.66
3.35
3.17
3.58
Processto
Decision
3.58
3.56
3.61
2.61
3.63
3.10
3.81
3.47
3.37
3.73
Todetermineanoverallscoreforeachproduct/serviceintheusecases,multiplytheratingsinTable2by
theweightingsshowninTable1.
2015Gartner,Inc.and/oritsaffiliates.Allrightsreserved.GartnerisaregisteredtrademarkofGartner,Inc.oritsaffiliates.Thispublicationmaynotbe
reproducedordistributedinanyformwithoutGartnerspriorwrittenpermission.Ifyouareauthorizedtoaccessthispublication,youruseofitissubjecttothe
UsageGuidelinesforGartnerServicespostedongartner.com.Theinformationcontainedinthispublicationhasbeenobtainedfromsourcesbelievedtobereliable.
Gartnerdisclaimsallwarrantiesastotheaccuracy,completenessoradequacyofsuchinformationandshallhavenoliabilityforerrors,omissionsorinadequacies
insuchinformation.ThispublicationconsistsoftheopinionsofGartnersresearchorganizationandshouldnotbeconstruedasstatementsoffact.Theopinions
expressedhereinaresubjecttochangewithoutnotice.AlthoughGartnerresearchmayincludeadiscussionofrelatedlegalissues,Gartnerdoesnotprovidelegal
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